Oct 18, 2022 | Banking, Capital Markets, Report
Download as PDF Table of Contents Click to navigate to section Executive Summary A.) Deficiencies in the notice and comment rulemaking process B.) Development of rules outside the notice and comment rulemaking process C.) Inconsistent rule enforcement and...
Oct 18, 2022 | Capital Markets, Letter
On October 17, 2022, the Committee submitted a legal memorandum to Chair Gensler of the Securities and Exchange Commission (the “SEC”) regarding the SEC’s statutory authority for its recent rulemaking proposal on “Private Fund Advisers; Documentation of Registered...
Aug 20, 2022 | Capital Markets, Report
Released August 31, 2022 Introduction In June 2018, the staff of the Committee on Capital Markets Regulation (the “Committee”) released a report entitled Rationalizing Enforcement in the U.S. Financial System (the “Enforcement Report”). The Enforcement Report...
Aug 16, 2022 | Capital Markets, Letter
On August 15, 2022, the Committee submitted a letter in response to a request for comment from the Securities and Exchange Commission (“SEC”) on “Certain Information Providers Acting As Investment Advisers” (the “Request for Comment”). The Request for Comment seeks...
Aug 16, 2022 | Capital Markets, Letter
On August 15, 2022, the Committee submitted a comment letter to the Securities and Exchange Commission (the “SEC”) regarding its proposal on enhanced disclosure requirements with respect to environmental, social, and governance (“ESG”) investment practices by...
